Operations & Control Manager Job Listing at Prudential in Indianapolis, IN
The Operations and Control Manager is responsible for the overall effectiveness of agency operations in each parent agency location and associated offices. This includes supporting the agency’s business processes, expense and sales planning and monitoring as well as managing overall agency operations, including direct support of the Managing Directors supervision of agent business practices and trending. This position is also responsible for development of plans and processes to ensure the agency is operating effectively and is the key business partner for the Managing Director. This position has core operational responsibilities and depending on the needs of the Managing Director, may participate in managing marketing aspects in the agency.
Overall Duties and Responsibilities
1. Business Planning and Administration -
Analyzes the risk, benefit, and impact of decisions on the present and future business environment prior to taking action. Develops actionable recommendations. Demonstrates an understanding of the business in its entirety and works to achieve results across disciplines, departments, functions, and all company channels.
Provides direct support to the Managing Director in developing and executing business initiatives to continually improve results. Develops strategic business and operational plans for the agency and Agency Distribution. May work with outside vendors. Develops and implements programs to ensure cost effective use and application of personnel, technology and time. May act as leader of organization during MD absence.
Establishes and maintains strong working relationships with internal and external customers (sales professionals, 2nd line management, Managing Director, Home Office partners). Responsible for resolving problem cases or issues with service centers and home office support areas.
2. Marketing Program Administration -
Support sales professionals by providing tools and resources for identifying opportunities within book of business or orphan management programs.
Provide structured training to sales professionals and marketing assistants on fact finding, marketing calls and technology tools that are available to producers.
Provides direction and effectively leads by example to ensure that all services are meeting the stated business objectives on a timely basis with excellent quality results. Demonstrates flexibility, anticipates customer needs, and effectively communicates in a manner consistent with the audience (verbal, written, presentation).
Manages company procedures for handling customer complaints. Serves as key contact and resource for approved marketing materials. Facilitates marketing programs and utilizes staff to support marketing campaigns, leads management programs , etc.
3. Manage Control Policy and Procedures -
Supporting Supervision - key partner in supporting inspection and review of parent and detached offices, identify areas of concern to the Managing Director regarding discipline of producers by following company guidelines, resolve control and human resources issues not handled by Managing Director. Applies solid judgement and exhibits courage in decision making and proactively raises issues to senior management.
Using established policies/procedures, consulting with other organizations such as Compliance, Law, Audit, etc., analyzing data and trends, developing new and/or improved solutions to problems, etc.
Perform necessary reviews such as client files and incoming and outgoing mail. Conduct compliance training and provide day-to-day proactive guidance to local management and sales professionals.
Analyze business processes to identify the strengths and weaknesses. Identify and analyze key information from various sources in order to identify trends and concerns. Analyze compliance related data along with other pertinent information to assess the level of compliance risk and exposures in the field office.
Testing the adequacy of processes and controls, and presenting the results to local management.
Monitors key risk indicators in the agency to identify potential risk issues in the business environment and develops meaningful action plans to correct negative trends and behaviors.
4. Coordination of Activities with Home Office -
Partner with other business centers and home office areas to identify areas to maximize resources and improve operational efficiencies. Responsible for coordination of Home Office Representatives (Wholesalers, Trainers etc) visits to agency. Responsible for coordination of annual meetings in agency that facilitate sales, marketing and growth. Develop and sustain effective and mutually beneficial relationships between sales professionals, field management and home office partners.
Collaborates with home office leadership and directs local teams to assure strategic, operational and developmental goals of the agency are met.
· Securities registrations Series 7, 26, 51, 63, State Life and Health and State Variable Life & Annuity
· Knowledge of insurance and investment products
· Experience in financial services running an operation of comparable size and scope
· Ability to work with a diverse group of people including clients, agents, home office and sales executives
· Financial services industry experience
· Budgeting/finance experience
· Company compliance policy and insurance broker/dealer laws and regulations
· Prudential products and services
· Strong communication and interpersonal skills
· Must have excellent written and verbal communication skills
· Public speaking and presentation skills
· Ability to execute, good organization skills, risk identification skills, management courage and decisiveness
· Must be comfortable in front of large and small audiences.
· Good PC skills (Word/Excel)
· Must be able to juggle multiple situations, and able to work independently
Any applicant selected for this position will be required to submit to an extensive background screening and a credit check. Failure to comply will eliminate an applicant from consideration for this position. Any negative information obtained as a result of the background screening may result in the disqualification of the applicant from this and any other position in Prudential, including their current position if they are an internal applicant.
Securities products and services offered through Pruco Securities, LLC (Pruco). The Prudential Insurance Company of America, Newark, NJ and its affiliates are Equal Opportunity/Affirmative Action Employers and are committed to diversity in its workforce. Prudential is an Employer that participates in E-Verify.
NR Ed. 12/2012
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